A Motion to Amend Cease and Desist Order S-18-0051-19-OR02 to remove Respondent Stephen B. Chastain.
First Class Wealth Preservation, LLC and Joseph Valko
01/18/2022
A Request for a Cease and Desist Order concerning fraudulent, unregistered investment adviser activity in Arkansas.
iTrading Express
11/09/2021
A request for a cease and desist order concerning fraudulent and unregistered investment activity in the offer and sale of unregistered securities in Arkansas.
MyCapitalTradeFx
08/04/2021
A request for a cease and desist order concerning the fraudulent and unregistered broker-dealer and investment adviser activity in the offer and sale of unregistered securities in Arkansas by respondents.
Security Asset Management/William Barnett
03/08/2021
Request for an order summarily and immediately suspending the registration of Security Asset Management, LLC as an investment adviser and the registration of William Barnett as an investment adviser representative of Security Asset Management, LLC pending the resolution of a complaint filed against both by the Staff of the Arkansas Securities Department.
Security Asset Management/William Barnett
03/08/2021
A complaint filed by the Staff of the Arkansas Securities Department against an investment adviser and an investment adviser representative for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
Arbirate, LLC
01/12/2021
A request for a cease and desist order concerning the fraudulent and unregistered broker-dealer activity in the offer and sale of unregistered securities in Arkansas.
LEGALBITCOINMINING.COM
10/21/2020
A request for a cease and desist order concerning the fraudulent and unregistered broker-dealer and investment adviser activity in the offer and sale of unregistered securities in Arkansas.
VEKX Global, LLC
07/08/2020
A request for cease and desist order concerning the fraudulent and unregistered investment adviser activity and fraud in the offer or sale of securities in Arkansas.